Teresa R. Gordon
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Teresa Renee Gordon, who also goes by Teresa Renee Boyd, Teresa R Gordon, Teresa Renee Gordon, Teresa Gordon, T. Renee Gordon, was a registered financial professional .
Teresa is a previously registered financial professional and started their career in finance in 2013. Teresa had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 13, 2018 - June 28, 2019
AMERICAN EQUITY INVESTMENT CORPORATION
March 2, 2018 - April 16, 2018
LPL FINANCIAL LLC
November 13, 2014 - November 17, 2015
MML INVESTORS SERVICES, LLC
January 28, 2014 - October 10, 2014
PARK AVENUE SECURITIES LLC
October 8, 2013 - December 4, 2013
MORGAN STANLEY
March 27, 2013 - September 9, 2013
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AMERICAN EQUITY INVESTMENT CORPORATION
CRD#: 40199 / SEC#: , 8-49078
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEOPLES, TIMOTHY ERIC | PRESIDENT / CHIEF COMPLIANCE OFFICER | 1026456 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
